Raymond James to Pay Nearly $12.5 Million for ‘Nickel-and …
Jul 11, 2023 · Massachusetts state regulators on Tuesday ordered Raymond James Financial’s retail brokerage to return $8.25 million plus interest to clients who were charged “unreasonably …
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Raymond James To Pay Nearly $12.5 Million For ‘Nickel-and …
3 weeks from now
Jul 11, 2023 · Massachusetts state regulators on Tuesday ordered Raymond James Financial’s retail brokerage to return $8.25 million plus interest to clients who were charged “unreasonably …
advisorhub.com
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Raymond James Agrees To Pay $12.5M+ Over High Fees
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Jul 12, 2023 · The St. Petersburg, Florida–based brokerage's employee and independent contractor channels, Raymond James & Associates and Raymond James Financial Services, …
financialadvisoriq.com
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Raymond James To Pay $12.4M To Settle Allegations It …
3 weeks from now
Jul 11, 2023 · Raymond James & Associates will pay a total of $12.4 million to settle charges stemming from a multistate investigation that found that it systemically overcharged low …
fa-mag.com
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Raymond James To Pay $13M Over High Fees - ThinkAdvisor
3 weeks from now
Jul 11, 2023 · The firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
thinkadvisor.com
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Massachusetts Fines Raymond James For Charging ‘unreasonably …
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He also ordered Raymond James to pay $4.2 million in fines and penalties to the six states involved in the probe of the financial firm.
marketwatch.com
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Raymond James To Pay $13 Million For Unreasonable Fees
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Raymond James Financial will pay roughly $13 million to settle allegations that it overcharged retail investors on small dollar transactions, a group of state securities regulators announced …
barrons.com
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Raymond James Settles Oregon Allegations That It Overcharged …
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Raymond James has agreed to pay nearly $200,000 to settle allegations that it charged investors unreasonable commissions over a five-year period ending last July.
msn.com
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79 Firms To Pay SEC $125M Restitution For 12b-1 Fees
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Apr 4, 2019 · 79 firms to Pay SEC $125M Restitution for 12b-1 Fees The U.S. Securities and Exchange Commission (SEC) has announced that clients from 79 investment firms who were …
dkrpa.com
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Raymond James Agrees To Pay $15 Million To Settle SEC Investigation
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As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on …
finraarbitrationattorney.com
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Raymond James Agrees To Pay $12.5M+ Over High Fees
3 weeks from now
The St. Petersburg, Florida–based brokerage’s employee and independent contractor channels, Raymond James & Associates and Raymond James Financial Services, charged …
financialadvisoriq.com
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Raymond James To Pay $15M To Settle Hidden-Fee Claims
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By Hannah Albarazi Law360 (June 12, 2019, 4:27 PM EDT) -- Raymond James Financial agreed Tuesday to pay $15 million to a certified class of nearly 59,000 customers to settle claims that …
finralawyer.org
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Raymond James Agrees To Pay $15 Million For Improperly …
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Sep 17, 2019 · To settle the charges, the three Raymond James entities agreed to be censured and to disgorge approximately $12 million representing inappropriate client advisory fees and …
yahoo.com
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Raymond James Commission Fee Class Action Settlement
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Aug 13, 2019 · The financial institution admits no wrongdoing, but has agreed to pay $15 million as a part of the Raymond James commission fee class action settlement. Class Members …
topclassactions.com
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Raymond James To Pay $15m To Settle With SEC Over Excessive …
3 weeks from now
Sep 18, 2019 · To settle the charges, the three Raymond James entities agreed to be censured and to repay about $12 million for the improper client advisory fees and UIT commissions, …
citywire.com
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Raymond James Will Pay $15M To Settle Hidden Fees Case
3 weeks from now
Jun 24, 2019 · In a proposed settlement deal, Raymond James Financial has agreed to pay $15 million to settle claims that the company charged customers unauthorized, hidden fees. Some …
topclassactions.com
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Raymond James Settles With SEC For Overcharging Clients
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Sep 17, 2019 · Raymond James has agreed to pay $15 million in disgorgement and penalties to the Securities and Exchange Commission, which claims the brokerage improperly charged …
wealthmanagement.com
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Raymond James To Pay $15M For Improper Advisory Fees And …
3 weeks from now
Oct 3, 2019 · Raymond James & Associates, Inc., Raymond James Financial Services Advisors, Inc., and Raymond James Financial Services, Inc. have agreed to pay $15M to settle SEC …
investorlawyers.com
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Meta To Pay $25 Million To Settle 2021 Trump Lawsuit
3 weeks from now
Meta Platforms has agreed to pay roughly $25 million to settle a 2021 lawsuit that President Trump brought against the company and its CEO after the social-media platform suspended …
wsj.com
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